Regulatory Compliance


Conflict Minerals Rule – Dodd Frank Act Section 1502:


On August 22, 2012, the SEC issued a final rule on conflict minerals pursuant to Dodd-Frank Section 1502. The rule describes the assessment and reporting requirements for issuers whose products contain conflict minerals.  These minerals – tin, tantalum, tungsten, gold and derivatives of 3TG – are used in a wide range of products across numerous industries and technologic applications.


SOAProjects can assist our clients meet key dates and deadlines for SEC filers (domestic and foreign issuers) and determine which compliance actions are required. Additionally, SOAProjects can provide the following:

  • Rapid Assessment of the need to respond to Dodd-Frank Section 1502
  • OECD framework compliant Conflict Minerals Program
  • Supply chain due diligence, Reasonable Country of Origin Inquiry and Supplier Questionnaire
  • Product design, Bill of Materials (BOM) and Procurement process review
  • Audit readiness, to identify potential gaps
  • An independent audit of an issuer’s Conflict Minerals Report


H.R. 3204 – Drug Quality and Security Act Title II (Sec.202)
Drug Supply Chain Security Act:


This newly enacted 2013 regulation establishes the requirements to facilitate tracing of prescription drug products through the pharmaceutical supply distribution chain to insure the safety and security against counterfeit drug supplies.  It establishes processes to detail all prior information in the chain in the event of recall events and imposes strict requirements on manufacturers, wholesale distributor, dispenser or re-packager to implement systems safeguarding the sources that are authorized and have processes in place to investigate suspicious products.


SOAProjects extensive experience in Supply Chain Advisory Services uniquely provides our clients with the ability to assess compliance with the new regulations to “Track and Trace” and to thoroughly investigate any suspicious sourcing indicators.